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Results: 1-10 of 104

SEC proposes CEO pay ratio disclosure rule
  • Locke Lord LLP
  • USA
  • September 26 2013

The SEC issued a proposed rule on September 18, 2013, that would require most public companies to report the ratio between the annual total


D&O policy exclusion barring coverage for securities suits is not limited to only the insured's securities
  • Locke Lord LLP
  • USA
  • November 24 2008

The Eighth Circuit Court of Appeals recently upheld an exclusion in a D&O policy barring coverage for suits against officers and directors arising out of the underwriting and sales of securities


Current issues in D&O and E&O coverage investigations: SDNY holds that Credit Suisse waived work product privilege by disclosing internal investigation memoranda to the government
  • Locke Lord LLP
  • USA
  • February 25 2008

If outside counsel for a company drafts factual memoranda concerning an internal investigation conducted in response to alleged wrongdoing, and then voluntarily shares the memoranda at the company’s direction with government investigators, has the company waived the work product privilege?


SEC proposes rules on required say-on-pay and golden parachute votes
  • Locke Lord LLP
  • USA
  • November 1 2010

The Dodd-Frank Wall Street Reform and Consumer Protection Act, signed into law in July 2010, will require public companies to put specific matters to their stockholders for non-binding, advisory votes as early as January 2011


Executive compensation and corporate governance in regulatory reform bill
  • Locke Lord LLP
  • USA
  • May 14 2010

This week Senators continued debate on S3217, the Restoring American Financial Stability Act of 2010


ARS derivative suits will need to overcome business judgment rule
  • Locke Lord LLP
  • USA
  • October 12 2010

In the past few months, several derivative suits against mutual fund issuers of auction rate securities (ARS) have hit the courts


PLUS D&O Symposium 2012 -- Day 1 first panel: latest trends in securities litigation and Dodd-Frank
  • Locke Lord LLP
  • USA
  • February 8 2012

The first panel of the 2012 PLUS D&O Symposium discussed some of the latest trends in securities litigation and opined on potential future developments which may impact the D&O industry


Protocol for broker recruiting cannot strip non-signatories of rights
  • Locke Lord LLP
  • USA
  • October 10 2012

A recent decision issued by a FINRA Arbitration Panel in Massachusetts firmly rejected the argument that the terms of the Protocol for Broker Recruiting should be imposed on a non-signatory as purported industry standard


Second Brocade executive convicted in backdating prosecution
  • Locke Lord LLP
  • USA
  • December 7 2007

On December 5, 2007, following a 5 12 day trial in the U.S. District Court for the Northern District of California, a jury convicted Brocade's former head of human resources, Stephanie Jensen, of falsifying corporate records and conspiracy


SEC and NAIC take affirmative steps to address corporate disclosures regarding climate change
  • Locke Lord LLP
  • USA
  • October 27 2009

On October 2, 2009, as part of the 48th Annual Corporate Counsel Institute held at Northwestern University School of Law, SEC Commissioner Elisse B. Walter gave a speech entitled “SEC Rulemaking ‘Advancing The Law’ To Protect Investors.”